SEC Rules Content

1 Deregistration of Certain Registered Investment Companies, SEC Rel. No. IC-23588 (December 4, 1998) (the “Release”). Rule 8f-1 describes the circumstances in which registered investment companies, including unit investment trusts and face-amount certificate companies, may use Form N...

1 See Memorandum to SEC Rules Committee No. 53-98, dated June 4, 1998; Memorandum to SEC Rules Committee No. 81- 98, dated August 13, 1998. [10554] December 11, 1998 TO: SEC RULES COMMITTEE No. 126-98 RE: ICI SUBMISSION TO SEC CONCERNING AFFILIATED TRANSACTIONS _______________________...

* See Memorandum to Investment Advisers Committee No. 39-98 and SEC Rules Committee No. 124-98, dated December 4, 1998. [10551] December 10, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 40-98 SEC RULES COMMITTEE No. 125-98 RE: ICI COMMENT LETTER ON NYSE'S PROPOSED AMENDMENTS TO ITS...

* See Memorandum to Investment Advisers Committee No. 37-98 and SEC Rules Committee No. 120-98, dated November 24, 1998. [10535] December 4, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 39-98 SEC RULES COMMITTEE No. 124-98 RE: ICI DRAFT LETTER ON NYSE'S PROPOSED AMENDMENTS TO ITS...

1 See Memorandum to Advertising Compliance Subcommittee No. 44-98, SEC Rules Committee No. 113-98 and Unit Investment Trust Committee No. 34-98, dated November 10, 1998. 2 See Memorandum to Advertising Compliance Subcommittee No. 47-98, SEC Rules Committee No. 118-98 and Unit...

1 “Financial institutions” as defined in PRWORA include money market mutual funds. [10520] December 1, 1998 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 112-98 SEC RULES COMMITTEE No. 122-98 OPERATIONS COMMITTEE No. 45-98 TRANSFER AGENT ADVISORY COMMITTEE No. 80-98 RE: FEDERAL OFFICE OF...

1 Securities Act Release No. 33-7606A, November 13, 1998 (File No. S7-30-98). 2 Securities Act Release No. 33-7607, November 3, 1998 (File No. S7-28-98). 3 The proposals can be found on the SEC’s web site at www.sec.gov/rules/propridx.htm. If you wish to obtain a copy of the proposals...

1 SEC Release No. 34-40679; File No. SR-NYSE-98-32 (Nov. 13, 1998); 63 Fed. Reg. 64304 (Nov. 19, 1998). 2 See Memorandum to Investment Advisers Committee No. 33-98 and SEC Rules Committee No. 100-98, dated October 8, 1998. See also, Memorandum to Investment Advisers Committee No. 30...

[10501] November 20, 1998 TO: INTERNATIONAL COMMITTEE No. 35-98 SEC RULES COMMITTEE No. 119-98 ELECTRONIC COMMERCE ISSUES WORKING GROUP RE: INSTITUTE SUBMITS COMMENT LETTER ON DEPARTMENT OF COMMERCE PRIVACY PRINCIPLES ___________________________________________________________________...